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Conduct, Compliance and Legal Advisory Section



A key component of an effective self-regulatory organization is the development of rules with policy committee involvement. Policy staff perform the key role of coordinating the rule development process in consultation with the appropriate committees.

 

Reports To

Member Regulation Policy

 


 

Specific Responsibilities

The Section advises on the development of rules and policies on business conduct, enforcement, and registration related matters affecting Dealer Members. And, it provides a forum for the exchange of information on complying with IIROC and other requirements that relate to business conduct, enforcement, and registration related matters.

 


 

Membership


Membership in the Section is restricted to senior business, legal and compliance officers or other persons having similar responsibilities, regardless of title who are employed by Dealer Members or Marketplace Members.

Standing Members:

  • President (or another officer of IIROC designated by the President)

  • Chair of the Board (or another member of the Board designated by the Chair of the Board)

Liaison Officers: A liaison officer shall be appointed by the Section to represent the Bourse de Montreal and the Canadian Investor Protection Fund.

 


 

Term

No term or limit on the number of terms

 


 

Nominating Process

Each Member shall be permitted to nominate a maximum of three persons for membership in the Section, providing they meet the membership requirements. Where a Member has nominated either two or three persons to be members of the Section, one of the nominations must be designated as the "Primary Member" and the other nomination(s) must be designated as the "Alternate Member(s)".

 


 

Appointment Process

The Vice-President, Member Regulation Policy will review all nominees and recommend appointments. The Senior Vice-President, Member Regulation will approve the appointments to the Section.

 


 

Show of Support

Each Member with members in the Section shall be entitled to one (1) show of support at the Section's meetings; provided that if any two (2) or more Members are affiliates of each other, such Members shall jointly be entitled to one (1) show of support at the Section's meetings. The individual chairing the Section meeting (the Chair, Vice-Chair or his or her designate) shall only have a show of support in the case of a tiee.

 


 

Chair and Vice-Chair

The Chair and Vice-Chair of the Section shall hold office for a two-year term commencing on the date of the Section Bi-Annual Meeting of the relevant year. In order to ensure continuity, the Vice-Chair will assume the role of Chair of the Executive Committee for the subsequent two-year period.

 


 

Meeting Schedule

The Section will meet a minimum of three times annually at the request of the Vice-President, Member Regulation Policy. Special meetings may be called at the request of the Chair, the Senior-Vice President, Member Regulation or the President and CEO.

 


 

Executive Committee

The Section shall be governed by an Executive Committee comprised of the Chair and Vice-Chair of the Section, with up to 13 additional members, who are members of the Section.

Chair and Vice-Chair: The Chair and Vice-Chair of the Section shall be the same individuals and be subject to the same term limits as the Chair and Vice-Chair of the Section, respectively.

A Nominating Committee comprised of the Chair and Vice-Chair shall submit to the Section Annual Meeting a list of persons that it recommends serve on the Executive Committee. In determining its recommended list of persons the Nominating Committee shall ensure that there is equitable representation on a geographic (regional versus national dealers), business line (institutional versus retail, debt versus equity versus derivatives) and business size (small, medium and large sized firms) basis.

Appointment Process: The Vice-President, Member Regulation Policy will review all nominees and recommend appointments to the Senior Vice-President. The Senior Vice-President, Member Regulation will approve the appointments to the Executive Committee.

 


 

Sub-Committees

Standing Sub-Committees may be established at the initiative of IIROC with input from the Executive Committee.

Appointment Process: The Vice-President, Member Regulation Policy will review all nominees and recommend appointments to the Senior Vice-President. The Senior Vice-President, Member Regulation will approve the appointments to the Sub-Committee.

 


 

Executive

  
Alexandra Williams, ChairCredential Qtrade Securities Inc.
Wayne BoltonEdward Jones
Brian DriscollAligned Capital Partners Inc.
Lou D'SouzaRBC Dominion Securities Inc.
Mary Joyce EmpensandoQuestrade, Inc.
Christopher HillGMP Securities L.P.
Radek LoudinDesjardins Securities Inc.
Greg NowakowskiTD Securities Inc.
Jehred RossScotia Capital Inc.
Kari TavenerBloom Burton Securities Inc.
Naresh TejpalCIBC World Markets Inc.
Kuno TuckerITG Canada Corp.
Michael WilliamsRichardson GMP Limited
Irene WinelMerrill Lynch Canada Inc.
Marsha Gerhart, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Kevin McCoy, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Sonja McCreary, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Charles Piroli, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Sherry Tabesh-Ndreka, SRO RepresentativeInvestment Industry Regulatory Organization of Canada

 

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Primary Members

  
Alexandra Williams, ChairCredential Qtrade Securities Inc.
Adam AbramsonTrapeze Capital Corp.
Govind AchyuthanAcumen Capital Finance Partners Limited
Leslee AltinPeters & Co. Limited
Joe BajicBBS Securities Inc.
FREDERIC BelleauNational Bank Financial Ltd
Jean-François BernierInteractive Brokers Canada Inc.
Wayne BoltonEdward Jones
Daniel BoweringGravitas Securities Inc.
Kevin BreslerTD Waterhouse Canada Inc.
Jean-Luc BrunetAURAY Capital Canada inc.
Marian BuklisAcker Finley Inc.
Denise CarsonBMO Nesbitt Burns Inc.
Mark CensaleWells Fargo Securities Canada, Ltd.
Mark ChadakhtzianCTI Capital Securities Inc.
Yann CittéLombard Odier Securities (Canada) Inc.
Ruth Ann CompanionIndustrial Alliance Securities Inc.
Helen CorriganRothenberg Capital Management Inc.
Cheryl de MontignyHampton Securities Limited
Sesto DeLucaW.D. Latimer Co. Limited
Noah DodekLeede Jones Gable Inc.
Jennifer DohertyJC Clark Ltd.
William DoneganManulife Securities Incorporated
Brian DriscollAligned Capital Partners Inc.
Lou D'SouzaRBC Dominion Securities Inc.
Louise DuchesneLightyear Capital Inc.
Lisa EdwardsSprott Private Wealth LP
Julie EisenstatCormark Securities Inc.
Mary Joyce EmpensandoQuestrade, Inc.
Christopher EnrightAligned Capital Partners Inc.
Alison FletcherMandeville Private Client Inc.
Daniel GordonFriedberg Mercantile Group Ltd.
Claudia GourdePictet Canada L.P.
Louise HamelBMO Nesbitt Burns Inc.
Robert HarlandHSBC Securities (Canada) Inc.
Adrian HavilandCitigroup Global Markets Canada Inc.
Christopher HillGMP Securities L.P.
Helen HsiaCanadian ShareOwner Investments Inc.
Sindy JaggerK.J. Harrison & Partners Inc.
Pauline JarryMaison Placements Canada Inc.
Nick KaterinakisGoldman Sachs Canada Inc.
John KennedyBarclays Capital Canada Inc.
Mark KentGravitas Securities Inc.
William KrutowRaymond James Ltd.
Yasmin LalaniCredential Qtrade Securities Inc.
Martin LangUnion Securities Ltd.
Dave LapenseeChippingham Financial Group
Brian LauzonBMO Nesbitt Burns Inc.
Radek LoudinDesjardins Securities Inc.
David LuGF Securities (Canada) Company Limited
Bruce MarandaCanaccord Genuity Corp.
Michael McNeilInstinet Canada Limited
Patrick McNenlyMackie Research Capital Corporation
Martin MiyataManulife Securities Incorporated
Tom MonahasClarus Securities Inc.
James MoonHampton Securities Limited
Kevin MoonRBC Direct Investing Inc.
Terry MooreCIBC
Gregory NowakowskiTD Securities Inc.
Peter PacholkoOdlum Brown Limited
Tracey PatelJ.P. Morgan Securities Canada Inc.
Joe PavaoHampton Securities Limited
Brian ProsserB2B Bank Securities Services Inc.
Brian PynnATB Securities Inc.
Sylvain RacineMirabaud Canada Inc.
Danielle RaymondJitneyTrade Inc.
Graham RobsonWellington-Altus Private Wealth Inc.
Jehred RossScotia Capital Inc.
Craig SchleyerAligned Capital Partners Inc.
Gurjinder SinghCaldwell Securities Ltd.
Brian SmallhornMorgan Stanley Canada Limited
Jane SmithAssante Capital Management Ltd.
Daniel Sooley 
Peter SousarisFidelity Clearing Canada ULC
Kari TavenerBloom Burton Securities Inc.
Naresh TejpalCIBC World Markets Inc.
Danielle TetraultInvestors Group Securities Inc.
Richard ThomasPI Financial Corp.
Bruce ThompsonHaywood Securities Inc.
Kuno TuckerITG Canada Corp.
Anita TylerKingsdale Capital Markets Inc.
Katharine VarikCumberland Private Wealth Management Inc.
Kambiz Vatan-AbadiBBS Securities Inc.
Matthew VaughnCitadel Securities Canada ULC
Sharon WatkinsSandstone Asset Management Inc.
John WebsterQueensbury Securities Inc.
Michael WilliamsRichardson GMP Limited
Irene WinelMerrill Lynch Canada Inc.
André ZangaCasgrain & Company Limited
Tim zzzMacNeilOMG Wealth Management Inc.

 

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Alternate Members

  
Ella AdamMackie Research Capital Corporation
Jennelyn AdonaCormark Securities Inc.
Joy AllenScotia Capital Inc.
Robert AllenM Partners Inc.
Jean-Paul BachelleriePI Financial Corp.
Vance BaumanCredential Qtrade Securities Inc.
Holly BensonPeters & Co. Limited
Lori BordageOMG Wealth Management Inc.
Torstein BraatenInstinet Canada Limited
David BrackenW.D. Latimer Co. Limited
Bill BrownGravitas Securities Inc.
Nick CardinaleRBC Dominion Securities Inc.
Jean CaronNational Bank Financial Inc.
Andrew CarringtonState Street Global Markets Canada Inc.
Richard CarterLeede Jones Gable Inc.
Warren CarterSolium Financial Inc.
Shweta ChadhaRGF Wealth Management Ltd.
Meye ChowWellington-Altus Private Wealth Inc.
Brian ChoyMorgan Stanley Canada Limited
Carol ChurchBMO Nesbitt Burns Inc.
Jillian ClarkCIBC Investor Services Inc.
Julie ClarkeMandeville Private Client Inc.
Chris ClimoCIBC World Markets Inc.
Kirk CoeBMO InvestorLine Inc.
Lloyd CostleyRaymond James Ltd.
Marissa CusiEdward Jones
Pauline DavisonQueensbury Securities Inc.
Christopher DimitropoulosHSBC Securities (Canada) Inc.
Paul FalcaoB2B Bank Securities Services Inc.
Lionel FoglerKingwest & Company
Sally Haldenby HabaCaldwell Securities Ltd.
Michael KazmierowskiB2B Bank Securities Services Inc.
Inna KholodenkoQuestrade, Inc.
Kenneth Klepacki 
Vesna KusicRBC Direct Investing Inc.
David LangRBC Dominion Securities Inc.
Gordon LudolphCormark Securities Inc.
Bill LyonsCIBC World Markets Inc.
David MacFadyenOMG Wealth Management Inc.
Mark MaisonvilleHaywood Securities Inc.
Laurinda MartinsKingwest & Company
Jeanette MatiasHSBC Securities (Canada) Inc.
Nadyne McConkeyNational Bank Financial Inc.
Nawaz MeghjiEdward Jones
Myja MillerAcumen Capital Finance Partners Limited
Lafleche MontreuilDesjardins Securities Inc.
Terry MooreCIBC Investor Services Inc.
Lee MoritaCIBC World Markets Inc.
Sharon MorrisroeRaymond James Ltd.
Jeremy NagyScotia Capital Inc.
Hinson NgGMP Securities L.P.
Scott NorrisIndustrial Alliance Securities Inc.
Lisa PageFidelity Clearing Canada ULC
Cliff Pereira 
Brent PickerlSandstone Asset Management Inc.
Shaine PollockRaymond James Ltd.
Sylvain PortelanceCasgrain & Company Limited
Monica PuAll Group Financial Services Inc.
Jane RatchfordScotia Capital Inc.
Kim RitchieGMP Securities L.P.
Michael RolandParadigm Capital Inc.
Ali RouhaniBarclays Capital Canada Inc.
James RudderhamMD Management Limited
Raj SachdevaCitigroup Global Markets Canada Inc.
Vivene SalmonMerrill Lynch Canada Inc.
Marc SansregretJitneyTrade Inc.
Marie-Noelle SavoieMacDougall, MacDougall & MacTier Inc.
Susan Schulze 
Jonathan SherwinUBS Securities Canada Inc.
CHRISTOPHER SHUMCredential Qtrade Securities Inc.
Barbara SimpsonRGF Wealth Management Ltd.
Geoffrey StaynerHampton Securities Limited
Angela StirpeCaldwell Securities Ltd.
Sunil ThomasTD Securities Inc.
Bernardino UgoliniAligned Capital Partners Inc.
Barbara VarroTD Waterhouse Canada Inc.
Paige WaddenWorldsource Securities Inc.
Syed WahabQueensbury Securities Inc.
Lesley Walters-SagherInvestors Group Securities Inc.
Michael WardParadigm Capital Inc.
Scott WardleW.D. Latimer Co. Limited
Mark WeseluckRBC Dominion Securities Inc.
Shelley WhitneyCredential Qtrade Securities Inc.

 

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Education

  
Joy Allen, Co-ChairScotia Capital Inc.
Shailesh Ambike, Co-ChairScotiabank
Julie BoileauDesjardins Securities Inc.
Denise CarsonBMO Nesbitt Burns Inc.
Brian ChoyMorgan Stanley Canada Limited
Shawn CollettTD Waterhouse Canada Inc.
Alexandra DiplarosCIBC World Markets Inc.
Andrew DundassUBS Securities Canada Inc.
Sukhminder Gill 
Bonnie-Marie Henry 
Firdaus KAPADIAScotia Capital Inc.
Brian PynnATB Securities Inc.
DIANA QUINNGMP Securities L.P.
Bradley RowlandIndustrial Alliance Securities Inc.
Michael SmithNational Bank Financial Inc.
Danielle TaylorTD Waterhouse Canada Inc.
Jilin WenCIBC World Markets Inc.
Neal WestonScotiabank
Erin WyldsTD Securities Inc.
Joe ZambitoCIBC World Markets Inc.
Ming Jie ZhuMerrill Lynch Canada Inc.
Adrian Carter, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Charles Piroli, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Dianne Weatherby, SRO RepresentativeInvestment Industry Regulatory Organization of Canada

 

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Institutional

  
Christopher Hill, ChairGMP Securities L.P.
Brian Smallhorn, ChairMorgan Stanley Canada Limited
ella adamAltaCorp Capital Inc.
Shailesh AmbikeScotiabank
Zahra BhutaniFidelity Clearing Canada ULC
Louis CavalarisEchelon Wealth Partners Inc.
Mark CensaleWells Fargo Securities Canada, Ltd.
Ross DavidsonRaymond James Ltd.
Lou D'SouzaRBC Dominion Securities Inc.
Lisa EdwardsSprott Private Wealth LP
Claudia GourdePictet Canada L.P.
Phillip HangerINFOR Financial Inc.
Lawrence Harasym 
Adrian HavilandCitigroup Global Markets Canada Inc.
Moshe IferganBeacon Securities Limited
Nick KaterinakisGoldman Sachs Canada Inc.
Edward KayMerrill Lynch Canada Inc.
Brian LauzonBMO Nesbitt Burns Inc.
Nadyne McConkeyNational Bank Financial Inc.
Neil MortonIndustrial Alliance Securities Inc.
Gregory NowakowskiTD Securities Inc.
Tracey PatelJ.P. Morgan Securities Canada Inc.
Michael RolandParadigm Capital Inc.
Jehred RossScotia Capital Inc.
Ali RouhaniBarclays Capital Canada Inc.
Jonathan SherwinUBS Securities Canada Inc.
Todd SikorskiMacquarie Capital Markets Canada Ltd.
Douglas SimsovicPavilion Global Markets Ltd.
Daniel Sooley 
Timothy StewartHSBC Securities (Canada) Inc.
Kari TavenerBloom Burton Securities Inc.
Naresh TejpalCIBC World Markets Inc.
Kuno TuckerITG Canada Corp.
Marsha Gerhart, SRO RepresentativeInvestment Industry Regulatory Organization of Canada

 

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Money Laundering

  
Joel Amy, ChairMacquarie Capital Markets Canada Ltd.
Jeffrey AblettCredential Qtrade Securities Inc.
Brian ChoyMorgan Stanley Canada Limited
Keith CouttsCIBC World Markets Inc.
Gene DiMira 
Stephen EbanksUBS Securities Canada Inc.
Samantha Gooding 
Lucinda LehtinenRBC Internal Audit Services
Carrie NelsonRBC Dominion Securities Inc.
Ronald NgCredential Qtrade Securities Inc.
Angela PavaoTD Securities Inc.
Lea PowerBMO Nesbitt Burns Inc.
Michelle SarmientoQuestrade, Inc.
Ellen SoRBC Dominion Securities Inc.
Nicholas ThompsonCredit Suisse Securities (Canada), Inc.
Kuno TuckerITG Canada Corp.
Brian WalshPershing Securities Canada Limited
Madeleine Cooper, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
David Wright, SRO RepresentativeInvestment Industry Regulatory Organization of Canada

 

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Order Execution Only

  
Kevin Bresler, ChairTD Waterhouse Canada Inc.
Jean-François BernierInteractive Brokers Canada Inc.
Denise CarsonBMO Nesbitt Burns Inc.
Christopher DimitropoulosHSBC Securities (Canada) Inc.
Mary Joyce EmpensandoQuestrade, Inc.
Helen HsiaCanadian ShareOwner Investments Inc.
Kevin MoonRBC Direct Investing Inc.
Brigitte RobyNational Bank Financial Inc.
Richard TherrienOANDA (Canada) Corporation ULC
Kuno TuckerITG Canada Corp.
Shelley WhitneyCredential Qtrade Securities Inc.
Kevin McCoy, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Charles Piroli, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Sherry Tabesh-Ndreka, SRO RepresentativeInvestment Industry Regulatory Organization of Canada

 

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Retail

  
Brian Driscoll, ChairAligned Capital Partners Inc.
Amanda Archibald, Committee Member 
Mike Arruda, Committee MemberAssante Capital Management Ltd.
FREDERIC Belleau, Committee MemberNational Bank Financial Ltd
Kathleen Black, Committee MemberHarbourfront Wealth Management Inc.
Daniel Bowering, Committee MemberGravitas Securities Inc.
Kevin Bresler, Committee MemberTD Waterhouse Canada Inc.
Julie Clarke, Committee MemberMandeville Private Client Inc.
Steven Elliott, Committee MemberEdward Jones
Louise Hamel, Committee MemberBMO Nesbitt Burns Inc.
Bill Lyons, Committee MemberCIBC Investor Services Inc.
Darlene Munro, Committee MemberWellington-Altus Private Wealth Inc.
Carrie Teeling, Committee MemberBMO Nesbitt Burns Inc.
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